{"url":"https://nivawealth.com/firms/prestige-wealth-management-336264","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/336264","regulatoryAum":148381816,"crd":"336264","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8186157","suffix":null,"lastName":"CULLEN","firstName":"SEAN","middleName":"PATRICK"},{"crd":"5564860","suffix":null,"lastName":"DROLET","firstName":"BRIAN","middleName":"DAVID"},{"crd":"6961233","suffix":null,"lastName":"Gold","firstName":"Andrew","middleName":null},{"crd":"7698146","suffix":null,"lastName":"McIntyre","firstName":"Landon","middleName":"Taylor"},{"crd":"7605188","suffix":null,"lastName":"Ziels","firstName":"Holden","middleName":null}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-06-18","regulatoryAum":0,"clients":0,"employees":6,"offices":1},{"filedOn":"2026-06-23","regulatoryAum":148381816,"clients":297,"employees":9,"offices":2}],"secFileNumber":"801-132868","legalName":"Prestige Wealth Management, Inc.","displayName":"Prestige Wealth Management","slug":"prestige-wealth-management-336264","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas corporation","fiscalYearEnd":"December","headquarters":{"street":"3120 Sabre Drive, Suite 160","city":"Southlake","state":"TX","stateName":"Texas","country":"United States","postalCode":"76092"},"tradeNames":[],"registration":{"secApproved":"28 May 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":499602.0740740741,"staff":{"employees":9,"advisory":5,"brokerDealerReps":0,"insuranceAgents":6,"promoters":0},"aum":{"regulatory":148381816,"discretionary":148381816,"discretionaryAccounts":881,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":445145448,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":275,"regulatoryAum":93308598},{"label":"High-net-worth individuals","clients":22,"regulatoryAum":55073218}],"feePrograms":[{"role":"main","program":"Investment Management & Financial Planning Services","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049240","versionId":1049240,"ratePeriod":"not_stated","fee_billing":"arrears","submittedOn":"2026-06-23","documentName":"2A BROCHURE","fee_rate_low":null,"fee_rate_high":2.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Consulting Services","summary":"Limited-scope consulting fees are negotiated with the client and billed monthly as services are rendered.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049240","versionId":1049240,"submittedOn":"2026-06-23","documentName":"2A BROCHURE"},{"role":"other","program":"Estate Planning Coordination","summary":"Coordination with unaffiliated estate planning providers is a flat fee of $250 to $1,500.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049240","versionId":1049240,"submittedOn":"2026-06-23","documentName":"2A BROCHURE"},{"role":"other","program":"Retirement Plan Advisory Services","summary":"The plan sponsor advisory fee is negotiated with the plan sponsor, with a maximum of 1.00% a year.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049240","versionId":1049240,"submittedOn":"2026-06-23","documentName":"2A BROCHURE"},{"role":"other","program":"Stand-alone Financial Planning","summary":"Stand-alone financial planning is a fixed fee of $500 to $5,000; ongoing planning is $100 to $600 a month.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049240","versionId":1049240,"submittedOn":"2026-06-23","documentName":"2A BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T18:02:18.298319+00:00","documents":[{"name":"2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049240","versionId":1049240,"submittedOn":"2026-06-23"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049241","versionId":1049241,"submittedOn":null}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":135701195},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":12680621}],"custodyNote":"Prestige Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Brian Drolet","title":"Managing Member/ CCO","crd":"5564860"}],"ownership":[{"label":"Brian Drolet","detail":"Managing member/ cco in the 75% or more ownership band and a control person, since April 2025."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":1},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"3120 Sabre Drive, Suite 160","city":"Southlake","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"817-637-8121","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":31},{"label":"Investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":56},{"label":"Cash and cash equivalents","percent":10},{"label":"Other","percent":3,"detail":"LP'S"}],"privateFunds":0},"sources":{"adv1FilingDate":"23 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/336264/PDF/336264.pdf","brochureDate":"23 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049240","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Prestige Wealth Management have?","answer":"Prestige Wealth Management has 297 clients and manages $148 million for them, as of June 2026. They include 275 individual clients and 22 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Prestige Wealth Management offer?","answer":"Prestige Wealth Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Prestige Wealth Management charge?","answer":"Prestige Wealth Management charges up to 2.50% for its Investment Management & Financial Planning Services. The brochure does not state whether the rate is annual. The fee is billed in arrears and is negotiable.","source":"2A BROCHURE, filed 23 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Prestige Wealth Management use?","answer":"Prestige Wealth Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $136M and Charles Schwab & Co., Inc. (Westlake, TX), with $12.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Prestige Wealth Management have?","answer":"Prestige Wealth Management has 5 investment adviser representatives registered with state securities authorities, out of 9 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 6 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Prestige Wealth Management invest in?","answer":"At the end of its last fiscal year, Prestige Wealth Management’s separately managed accounts held 56% registered funds (mutual funds, ETFs, BDCs), 31% exchange-traded equities, 10% cash and equivalents, 3% other, 1% investment grade corporate bonds and 1% derivatives. The 3% other category is described as: LP'S.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Prestige Wealth Management?","answer":"Prestige Wealth Management’s direct owner is Brian Drolet (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Prestige Wealth Management get paid?","answer":"Prestige Wealth Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Prestige Wealth Management?","answer":"Prestige Wealth Management’s main office is at 3120 Sabre Drive, Suite 160, Southlake, TX 76092. Its phone number is 817-637-8121.","source":"Form ADV Part 1A, Item 1.F, filed 23 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}